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6154 Innovation Way, Carlsbad, CA 92009 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2020-06-15 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Investment Services Llc | Albuquerque | NM | 02/2015 | 06/2020 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 03/2015 | 06/2020 |
| Northwestern Mutual Investment Services, Llc | Albuquerque | NM | 03/2015 | 06/2020 |
| Seaside Wealth Management, Inc. | Carlsbad | CA | 06/2020 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 07/2020 | 02/2026 |
1) San Diego Chapter of the UNM Alumni Association, Not Investment-Related, UNM Alumni Office 1 University of New Mexico Albuquerque NM 8713, The UNM Alumni San Diego Chapter is an active group that organizes and participates in numerous activities throughout the year, Treasurer, 5/1/2023, 4 Hours/Month Devoted to Other Business, 1 Hour/Month devoted to Other Business During Securities Trading Hours, Assist with budget that is allotted to host events throughout the year. 2) Sagehaven Properties LLC, Investment-Related, 12001 Eagle Rock Ave NE Albuquerque, NM 87122, Home Development, Contractor, 6/1/2023, 10 Hours/Month Devoted to Other Business, 2 Hours/Month Devoted to Other Business During Securities Trading Hours, Grantor of a loan to be able to help purchase land and material to build a home from the ground up. 3) Teaching Tax PLanning Class & Estate Planning Class, Investment Related, 01/2026, 2 hours per month devoted to OBA, Instructor.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 2012-09-25 |
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